1. Effort Certification Training Rosa Gonzalez-Rosenblatt 8/14/13 1 UNM

2. UNM Effort Certification Training Pre-Review Stage 8/13/20132

3. What is Effort Effort is the time spent on a sponsored project, it is expressed as a percentage of the employees’ total University related duties o Effort must equal 100% cumulative total Includes teaching and research activities Does not include any activities outside of University related work o Cannot exceed 100% if working on multiple projects o It is not measured on a standard 40 hour work week, but on the actual time worked. Effort Certification Policy in UNM Faculty Handbook 38/13/2013

4. Why do we Certify? Effort is a mechanism to confirm salaries and wages charged to a sponsored project in relation to the work performed and committed to the agency in proposal. o UNM is required to assure Federal and other award sponsors that the allocation of salaries charged are fair, consistent and timely with the effort performed. Potential financial penalties for non-compliance Expenditure disallowance – department would be responsible to repay the charges to the agency Non-compliance on A-133 audit - could impact future funding Applies to non-timesheet employees only 48/13/2013

5. Effort Certification Process Certification reports distributed and certified semi- annually through LoboWeb o Pre-Review Stage 30 calendar days after reports are generated o PI Certification Begins when Pre-Review stage is completed Ends 60 calendar days after reports are generated o Email notifications Initial email to Pre-Reviewer only PI will receive one email at end of 30 days Reminder and delinquent notifications will also be sent Pre-Review must be completed prior to Certification 58/13/2013

6. Accessing Reports https://my.unm.edu/cp/home/displaylogin - to log into LoboWeb https://my.unm.edu/cp/home/displaylogin Select the Employee tab - Click on Lobo Web 68/13/2013

7. Select Effort Certification 78/13/2013

8. Select Review or Certify Reports 88/13/2013

9. Click Advanced Search 9 Click advanced search to view search options 8/13/2013

10. Select Attribute to Begin Search 10 Open drop down menu to select the search attribute 8/13/2013

11. Open Search Drop Down Box – Chart of Accounts 11 Open drop box, select Chart of Account Code to begin search 8/13/2013

12. Search for Reports to Review Select Attribute drop down o Chart of Accounts – type “U” 128/13/2013

13. Search for Reports to Review 8/13/201313 Select Attribute drop down Effort Period Code – type “201301” and hit Go. System will display all records that you have access to view

14. Select from Employee List 14 Highlight record, double click to view effort report actions Note Status and State of each employee 8/13/2013

15. Employee Effort Report Salary distribution is displayed as percentage; a pie chart also displays the salary distribution Tolerance +/- 5% original award vs. effort worked 15 Status 8/13/2013

16. Pay Period Summary Select Pay Period Summary to view effort by pay period o If grant is not active over whole effort certification period, this is where you can view detail by month 168/13/2013

17. Pay Period Summary Select Monthly – Regular link to view FOAPA detail including index 178/13/2013

18. Routing Queue 8/13/201318

19. Selecting and Adding Proxy Access 8/13/201319

20. Navigation Tips Scroll Bar o Click F11 if you have multiple items listed under sponsored projects and cannot see the scroll bar Expand the columns o Click on the line you would like to expand and drag the line to make the column larger Sort columns o Click on the top of the column you would like to sort by, you can sort by any of the columns listed View routing queue o Select Routing Queue link on the left panel, to view all individuals in the queue and what actions have been or need to be taken o Note: The employee name will appear on routing queue as certifier, the only time they will be required to certify is if they are also the PI View Effort Breakdown by Pay Period 208/13/2013

21. Column Definitions Status column: Under Review – report has been created and is available for viewing Awaiting Certification – Pre-Reviewer has reviewed and is ready for certification Completed – effort report has been certified and completed Locked/unlocked column: Locked – after an effort report is completed it is locked and cannot be modified Unlocked – effort report is available for change by members of the routing queue Awaiting Refresh – labor re-distribution has been completed and has updated the payroll record, report needs to be updated, reviewed and certified Changes Submitted – when request change button is clicked 218/13/2013

22. Tips for Reviewing Effort Effort is reported as an average over the reporting period (may be impacted by the number of months the award is active) Compare reported effort percentage to proposed effort in original award document Tolerance threshold of +/- 5% Variances that may require agency prior approval: o Absences (generally 3 months or more) o Significant reductions of the PI and/or Key Personnel effort (25% or more) o Note: It is the PI’s responsibility to work with the Pre-award office to obtain sponsor’s prior approval 8/13/201322

23. E-Print and Hyperion reports E Print reports FRROEC01 and FRROEC01-HSC Located in the fin_banp repository o Provides a report of the effort distribution in dollar values to correspond to the percentages displayed on the effort certification reports o Displays information by Org Code, PI, and Grant Hyperion report FRRHOZ05-Effort Certification Status Located in the Finance Reports/Finance Production Reports o List of employees in the effort queue o Status and State of the record o Action to be taken by Org Hyperion report FRRHOC05 Located in the Finance Reports/F Dept_School_College/F C&G folder o List of Account Administrators by Org 8/13/201323

24. Pre-Review Scenarios Scenario 1 Pre-Review completed – no change necessary Scenario 2 Pre-Reviewer needs labor re-distribution completed to update record 248/13/2013

25. Scenario 1 – Complete Pre-Review No change necessary for this employee Click Review button to complete Pre-Review stage 258/13/2013

26. Scenario 2 – Record needs changes Pre-reviewer identifies changes needed Select Request Changes button; system prompts user to send an e-mail. Send email to department labor re- distribution initiator (if needed), include all necessary information to complete labor re-distribution 268/13/2013

27. Clear Changes Requested If Request Changes button was selected in error Click Clear Changes to restore report to original state to continue process 278/13/2013

28. Scenario 2 – Labor Re-Distribution has been requested o Status now Under Review-Changes Submitted and the Review button no longer appears. 8/13/201328

29. Scenario 2 - Labor Re-distribution completed by Initiator Labor re-distribution processed by department, has not updated payroll records. Note message in upper right corner 8/13/201329

30. Scenario 2 – Update Effort Report Changes have been applied and Awaiting Refresh, click the Update Report button to show changes on the effort report o Available for Pre-review after update is complete o Status changes to Under Review – Unlocked and the Review action can be taken 8/13/201330

31. Scenario 2 - Complete Pre-Review Select Review button to complete this stage 8/13/201331

32. Certification Stage Select Certify button Complete certification process o Note: Certification will not be completed until all PI’s have certified 328/13/2013

33. Record is Locked Once effort has been certified, salary transfers for that period will only be permitted in rare circumstances o If it is necessary to adjust the salary charges for a previously certified effort period, a detailed explanation of the need for the salary adjustment and subsequent re-certification is required o Request to open a previously certified effort report memo must be completed and signed by Dean or Director Requests can be scanned or sent to your respective C&GA Manager o Memos will be retained by Contract & Grant Accounting The Effort Report will need to be reviewed and re-certified 338/13/2013

34. Record is Locked 348/13/2013 Self Services Labor Redistribution

35. Record is Locked Banner PHAREDS 358/13/2013

36. Potential Consequences* Ability to submit proposals could be suspended List of non-compliant PI’s posted on UNM website Uncertified effort expenses moved to unrestricted index * to be determined by Research faculty 368/13/2013

37. Contact Information Contact your Pre-Reviewer for general/procedural questions For all other questions o Contact: Contract & Grant Accounting office - Main Campus/Branches 277-4721 o Contact: Contract & Grant Accounting - Health Sciences Center 272-0163 o Or send Email to: Effort-Reporting@salud.unm.edu 378/13/2013